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Regulators Must Distinguish Financial Advisement from Investment Advisement

Wealth Management

How illogic in DOL’s Retirement Security Rule produces a crisis of identity for insurance professionals.

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Adviser links: widespread anxiety

Abnormal Returns

podcasts.apple.com) Dan Haylett talks with Brendan Frazier about the art of spending money in retirement. citywire.com) Fisher Investments is behind the fiduciary.com website. kitces.com) Advisers Advisers do change firms. kitces.com) Adviser data is both valuable and important. crr.bc.edu)

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DoL’s Retirement Security Rule & PTE 2020-02 Amendment: What Advisers Need to Know Now About Giving Rollover Advice After Sept 23, 2024

Nerd's Eye View

On April 25, 2024, the Department of Labor (DoL) issued the final version of its Retirement Security Rule (the "Final Rule"), which imposes an ERISA fiduciary standard "that applies uniformly to all investments that retirement investors may make with respect to their retirement accounts ".

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Thursday links: the symbolism of green investment

Abnormal Returns

(calculatedriskblog.com) Dr. Copper should be retired. abnormalreturns.com) Are you a financial adviser looking for some out-of-the-box thinking? economist.com) Earlier on Abnormal Returns Longform links: our gamified lives. abnormalreturns.com) What you missed in our Wednesday linkfest.

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Adviser links: confident humility

Abnormal Returns

(open.spotify.com) Ben Carlson talks with Christine Benz, author of "How to Retire: 20 lessons for a Happy, Successful, and Wealthy Retirement." riabiz.com) Robinhood ($HOOD) is planning to provide algorithmic investment advice. barrons.com) Advisortech DPL Financial just raised another round of capital.

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Adviser links: after-tax returns

Abnormal Returns

Podcasts Jill Schlesinger talks with Blair duQuesnay of RWM about her path as a financial adviser. riabiz.com) Joe Duran's RIse Growth Partners just made its first (big) investment. riabiz.com) Going solo Not every financial adviser wants to build a lasting franchise.

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Adviser links: advancing your business

Abnormal Returns

(podcasts.apple.com) Career Why it's so important to invest in the next generation of advisers. riaintel.com) Some things veteran advisers wished they knew when starting out including 'Run your business like a business.' (fa-mag.com) fa-mag.com) Many successful financial advisers didn't major in finance in college.